DOT Audit Checklist Template
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What is a DOT Audit Checklist?
A DOT Audit Checklist is an internal auditing tool used by fleets, intermodal equipment providers, or freight forwarders to prepare for DOT audits. It covers a compliance review of safety management policies, driver compliance, vehicle maintenance and inspection, and other applicable regulations necessary to confirm the safety fitness of the company. This checklist helps avoid failing the satisfactory safety rating under the safety fitness standard for motor carriers, and it can also be used to review whether corrective actions conducted are sufficient to request a safety rating change.
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Violations to watch out for in the internal compliance audit
An internal compliance audit checklist helps you and your team be prepared for official audits from the Department of Transportation and to help you avoid receiving an “unsatisfactory” rating. It also serves as a quality control audit template useful for drives and the company. It comes in handy especially when reviewing if you’re compliant to the safety standards from each important aspect to determine the safety fitness of motor carriers. With this, here are common violations that would lead to unsatisfactory rating:
Violation of commercial driver's license
There are many requirements for a person to qualify for a commercial driver's license, including no questionable employment history, having a valid license, the right and privilege to drive with no criminal or traffic offenses, along with the necessary knowledge and skills. All of these are laid out in the regulations under Part 383.
Improper use and driving of motor vehicles
Violations for the proper use and driving of motor vehicles include not following safe operating rules from law, ordinances of the applicable jurisdiction, driving while ill or fatigued, operating under the influence of drugs or other substances, and being under the influence of alcohol within four hours before duty, while operating, or when alcohol is detected while on duty.
Violation of fatigue driver regulations
This is also covered under improper use and driving of motor vehicles, but the prohibition on fatigued driving has specific requirements under Hours of Service (HOS) rules. These specify maximum driving times, consecutive hours of duty for passenger-carrying or property-carrying drivers, and provisions for those encountering adverse driving conditions. To avoid violations, ensure drivers are well-trained in the stipulations from PART 395-HOURS OF SERVICE OF DRIVERS under the FMCSA.
Poor inspection, repair, and maintenance of vehicles
A violation in this area includes evidence of no clear system of maintenance and inspection, poor condition of parts and accessories, visible defects and performance issues, absence of driver vehicle inspection reports, and other missing relevant inspection checklists.
Violation of hazardous materials regulations
There are specific regulations in each state regarding how a commercial vehicle carrying hazardous materials should be driven and parked. These regulations also ensure that such vehicles are not parked carelessly, especially when carrying explosives. Parking on private property, such as fuel stations or eating areas, without the knowledge or consent of the person in charge of the property, is a violation.
Best Practices When Conducting an Internal DOT Safety Audit
The purpose of having an internal DOT safety audit checklist is to verify if your company is compliant and to correct deficiencies as soon as possible if any are found. A motor carrier company needs to be aligned with FMCSA regulations while keeping in mind that these rules are fair and sensible, especially in ensuring the safety of drivers and operations. The following are best practices when conducting an internal DOT safety audit:
- Double-check the regulations - Some regulations, especially those on hours of service, maintenance quality expectations, and driver qualifications, are stable and do not usually change, but it's always best to review whether there are any additional requirements. The same applies to state-level requirements.
- Make use of digital solutions when conducting safety audits - You don't want to spend excessive time both complying with requirements and compiling paperwork. Use a digital DOT Audit Checklist that works efficiently.
- Make sure assessments are unbiased - As with any internal audit, whether for DOT or other purposes, a fresh perspective is often necessary. Conduct mock audits or invite other teams to review the compliance list and confirm that proof of compliance is readily accessible when requested by another party. This simulates actual auditing conditions.
Frequently Asked Questions
Is this DOT Audit Checklist aligned with the FMCSA standard format?
Yes - Sitemate's DOT Audit Checklist is aligned with the FMCSA regulations and can be further configured for any specific requirement necessary to comply by your company depending on the goods you intend to transport in your CMVs. This template pre-built to align with best practice and very easy to edit as needed.
Can this DOT Audit Checklist be used internally for New Entrant Safety Audits?
Yes - this template can be configured to align with New Entrant Safety Audit. However, if you need a more specific template you can set it up with our Dashpivot template builder. You can create different document types using tables, formulas, sketches, photos and more.
Can I send a filled-out DOT Audit Checklist to the auditor as reference?
Yes - You can send this DOT audit checklist to external parties or auditors online. You can also export it as PDF or CSV and send it perfectlly and professionaly formatted.
Is this DOT Audit Checklist available in PDF?
Yes- This template is available as PDF. Once filled out, it can be exported as PDF or CSV, meaning you get the best of Word Doc, PDF and Excel, with the power of modern software.
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This checklist was generated with Dashpivot software
Level up your internal safety audits with software that can build templates, manage and streamline your processes, and securely store your documents.
- Access, edit and complete DOT safety audits checklists from any device - mobile, tablet or computer.
- Print, download or send your internal compliance audits as perfectly formatted PDF documents with your company logo.
- Store your checklist securely online, where they can be searched and found in seconds
- Invite internal and external parties to see, edit and sign off on checklists online.
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